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Gary Bradford Vaughn

KOVACK SECURITIES
Spokane Valley, WA
·CRD# 3048341·26 years experience

Professional Summary

Gary Bradford Vaughn is a registered financial advisor currently at KOVACK SECURITIES INC. located in Spokane Valley, Washington. Gary is registered as a RR (Registered Representative) and started their career in finance in 2000. Gary has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

KOVACK SECURITIES INC.·CRD# 44848
BD
11017 E. Sprague Avenue Suite B, Spokane Valley, WA 99206
July 28, 2015 - Present
SUMMIT BROKERAGE SERVICES, INC.·CRD# 34643
BD
Port Charlotte, FL
December 18, 2012 - July 29, 2015
KOVACK SECURITIES INC.·CRD# 44848
BD
Port Charlotte, FL
June 3, 2010 - December 19, 2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.·CRD# 13609
BD
Cedar Rapids, IA
July 16, 2003 - November 3, 2004
BROOKLIGHT PLACE SECURITIES, INC.·CRD# 15764
BD
Fountain Hills, AZ
January 1, 2002 - December 10, 2002
IAC SECURITIES, INC.·CRD# 14081
BD
Tinley Park, IL
February 28, 2000 - January 1, 2002

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Current Firm

KS
KOVACK SECURITIES INC.

KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: 8-50847
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308

Mailing Address

6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308

Phone Number

(954) 782-4771

Established

Florida since 04/22/1997

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Medium

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KOVACK FINANCIAL, LLC.OWNER—
KOVACK, BRIAN JOHNCEO2809477
SHICK, ISABELLE ALLISONFINOP5364794
WOLFE, MELINDA SUECHIEF COMPLIANCE OFFICER/EVP1627593

Disclosures

Regulatory Event

5

Arbitration

5

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Florida
(7/28/2015)
RR
Georgia
(2/27/2017)
RR
Idaho
(5/16/2025)
RR
New York
(8/26/2015)
RR
North Carolina
(7/26/2021)
RR
Washington
(3/29/2019)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2014About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2010About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Feb 2000About the Series 6 exam
FINRA
SRO Registrations
Nasdaq Stock Market
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Gary Bradford Vaughn's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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